NRC INSPECTION MANUAL IRIB

Transcription

1 NRC INSPECTION MANUAL IRIB MANUAL CHAPTER 2517 WATTS BAR UNIT 2 CONSTRUCTION INSPECTION PROGRAM

2 PURPOSE OBJECTIVES APPLICABILITY DEFINITIONS RESPONSIBILITIES AND AUTHORITIES BACKGROUND AND OVERVIEW GENERAL INSPECTION POLICY BASIC REQUIREMENTS/POLICY FOR INSPECTION PROGRAM INSPECTOR TRAINING AND QUALIFICATIONS INSPECTION FINDINGS AND ENFORCEMENT ASSESSMENT TRANSITION TO THE ROP ACTIVITIES INTERFACE WITH RELATED PROGRAMS REFERENCES. 20 Appendix A. Inspection Procedures,Temporary Instructions and Activity Codes Appendix B. Documenting Inspection Results Appendix C. Minor Violations and Findings Appendix D. WBN Unit 2 Construction Inspector Qualification Requirements Issue Date: 04/30/10 i 2517

3 PURPOSE To provide the policies and requirements for the Watts Bar Nuclear Plant (WBN) Unit 2 construction inspection program during that unit's resumption of construction. The WBN Unit 2 construction activities have been suspended since the mid 1980 s To establish a record of the inspection activities, applicant actions taken and technical issues resolved to support the decision for issuing an operating license OBJECTIVES To verify that the WBN Unit 2 inspection status for Inspection Manual Chapter (IMC) 2512, Light Water Reactor Inspection Program Construction Phase, is understood through a reconstitution of the inspection program To provide guidance for implementation, planning and scheduling completion of IMCs 2512; 2513, Light Water Reactor Inspection Program Preoperational Testing and Operational Preparedness Phase; and 2514, Light Water Reactor Inspection Program Startup Testing Phase To verify the proper implementation of the applicant's design control programs, the installation and testing of modifications, the Corrective Action Programs (CAPs) and Special Programs (SPs) listed in Attachment 2 of the WBN Unit 2 Reactivation letter dated August 3, 2007 (Reference 1 in Section 14 of this IMC), and the completion of any required actions for outstanding generic-communication issues To provide WBN Unit 2-specific requirements for the training and qualification of construction and post-construction inspectors to ensure that they have the necessary knowledge and skills to successfully implement the WBN Unit 2 construction and post construction inspection program To provide guidance on disposition and documentation of inspection findings To provide guidance on a WBN Unit 2-specific assessment program to identify performance trends and determine if an expansion of NRC inspections is necessary based on inspection findings To confirm the readiness of Structures, Systems, and Components (SSCs) at WBN Unit 2 to transition to IMC 2513 and IMC 2514 activities based on inspections of the applicant's programs To verify the operational readiness of WBN Unit 2 based on inspections during its construction, preoperational testing and operational preparedness, and startup testing phases To provide an objective and documented basis for recommendations on the issuance of an operating license for WBN Unit 2. Issue Date: 04/30/

4 02.10 To provide guidance for the process to transition WBN Unit 2 into the IMC 2515 reactor oversight process (ROP) To provide a mechanism for communicating the status of NRC s inspection activities, issues and corrective actions to the public and other external stakeholders APPLICABILITY This IMC was developed to provide inspection program guidance for the WBN Unit 2 construction program. This inspection program remains effective through the completion of IMC 2514 activities and the full implementation of the IMC 2515 reactor oversight process Archived IMCs, Inspection Procedures (IP) and temporary instructions (TI) will be re-issued and utilized to perform the required inspections or reviews of outstanding design, licensing, and regulatory issues for WBN Unit 2. Planned exceptions to IMCs, IPs, and TIs are discussed in Section These exceptions are necessary because the IMCs, IPs, and TIs are being re-issued without being updated and contain outdated references, NRC organizational codes, and processes WBN Unit 2 remains within the scope of the Commission's current Enforcement Policy for nuclear power plants in the construction phase. Traditional enforcement, i.e. the use of Severity Levels, will be used for any Severity Level IV and above noncompliances that are identified during inspections. Once a cornerstone has been determined to be monitorable under the ROP, then the enforcement for any findings from NRC inspections for that cornerstone should be administered in accordance with the Commission s current enforcement policy for operating reactors The transition of WBN Unit 2 to the full oversight provided by the ROP will be a phased approach on an individual cornerstone basis with the understanding that IMC 2515 and IMC 0305 cannot be fully applied until all cornerstones are monitorable by the ROP. Once a cornerstone is monitorable by the ROP, IMC 0609 "Significance Determination Process" (SDP) will be utilized to characterize the significance of findings resulting from the routine inspection effort of IMC 2515 for that cornerstone Region II may elect to pilot portions of 10 CFR Part 52 inspection program processes at WBN Unit 2 once they are developed. These pilots will be initially conducted in parallel with the process specified in this IMC and if successful, they may be used for the remainder of the inspection program, e.g., IP 35007, Quality Assurance Program Implementation During Construction DEFINITIONS Construction Activities. The set of activities associated with the construction of the WBN Unit 2 plant including but not limited to, procurement, erection, modifications, design control, quality inspection, corrective action program, training and qualification. Issue Date: 04/30/

5 04.02 Construction Inspector. A qualified NRC staff member who inspects a sample of safety significant construction documents, programs and activities as directed by IMC 2512 in order to obtain a reasonable assurance that they adhere to the applicable design and licensing requirements Construction Deficiency Report. A reportable defect or failure to comply that could create a substantial safety hazard were it to remain uncorrected [refer to 10 CFR 50.55(e)] Cross-Cutting Aspect. A performance characteristic associated with an inspection finding that is the most significant contributor to a performance deficiency. The different cross-cutting aspects which can be ascribed to an inspection finding are fully described in IMC 0305, Operating Reactor Assessment Program Full Oversight of the ROP. For this IMC, the condition when all cornerstones are monitored by baseline inspection and either performance indicators (PIs) or compensatory inspections above the baseline in accordance with IMC The regulatory response for findings resulting from such inspections will be in accordance with the Action Matrix in IMC Limited Oversight of the ROP. For this IMC, the condition when some, but not all, the cornerstones are monitorable by baseline inspection and either PIs or compensatory inspections above the baseline in accordance with IMC The regulatory response for findings resulting from such inspections for any of these cornerstones will be determined by Region II management Monitorable Under the ROP. For an individual cornerstone, it means that the IMC 2515 baseline inspection and either PIs or compensatory inspections above baseline performed due to the unavailability of PIs can provide sufficient information for determining applicant performance for that cornerstone of safety Performance Deficiency. An issue that is the result of an applicant not meeting a requirement or standard where the cause was reasonably within the applicant s ability to foresee and correct, and that should have been prevented. A performance deficiency can exist if an applicant fails to meet a self-imposed standard or a standard required by regulation Post-construction Activities. The set of activities associated with the Preoperational Testing and Operational Preparedness Phase and the Startup Testing Phase Post-construction Inspector. A qualified NRC staff member who inspects a sample of safety significant post construction documents, programs and activities, as directed by IMCs 2513 and 2514, in order to obtain a reasonable assurance that they adhere to the applicable design and licensing requirements ROP Transition Plan. The requirements developed by Region II for determining when all the cornerstones of safety can be deemed to be ready to be monitorable under the ROP. The Transition Plan mainly consists of transition matrices developed by Issue Date: 04/30/

6 Region II for each ROP cornerstone. Each matrix specifies the criteria which must be met for that cornerstone to be monitorable under the ROP WBN Unit 2 Reactivation Assessment Group. A WBN Unit 2 Reactivation Assessment Group (WRAG) consisting of participants from NRR (primarily DORL, and other divisions as necessary) and Region II that has the responsibility to oversee project completion and serve as the focal point for status of the project and for coordination between the Region and the Offices at Headquarters RESPONSIBILITIES AND AUTHORITIES Director, Office of Nuclear Reactor Regulation (NRR) a. Provides overall program direction for the WBN Unit 2 inspection program. b. Develops policies, programs, and procedures for performing inspections at WBN Unit 2 within or in addition to the WBN Unit 2 inspection program. c. Assesses the effectiveness, uniformity, and completeness of implementation of the WBN Unit 2 inspection program. d. Concurs with the decision of the Regional Administrator for Region II to transition WBN Unit 2 into the full oversight of the ROP Associate Director for Operating Reactor Oversight and Licensing (ADRO) Directs the development of the WBN Unit 2 inspection program within the Office of Nuclear Reactor Regulation (NRR) Director, Division of Inspection and Regional Support (DIRS) a. Manages WBN Unit 2 inspection program development within NRR. b. Develops and prepares revisions to this IMC and other applicable inspection program documents. c. Oversees regional implementation of WBN Unit 2 inspection program. d. Serves as the NRR contact with the Region II office for WBN Unit 2 inspection program development and implementation Director, Division of Operating Reactor Licensing (DORL) a. Serves as NRR contact in regard to licensing and licensing policy issues related to the WBN Unit 2 inspection program. b. Assigns a Project Manager to address day-to-day matters concerning licensing issues for WBN Unit 2. Issue Date: 04/30/

7 c. Coordinates with Region II to ensure licensing efforts and the inspection program are integrated Director, Office of Enforcement (OE) a. Ensures consistent application of the enforcement process to violations of NRC regulations with the appropriate focus on the severity level of the finding. b. Provides representatives as necessary to support the Escalated Enforcement process in order to ensure consistent application of the enforcement process Regional Administrator for Region II a. Has responsibility and authority for the overall direction of the implementation of the WBN Unit 2 inspection program. b. Establishes contacts with the applicant on inspection-related issues and any required corrective actions either directly or through the assigned Region II Branch Chiefs. c. Maintains contacts with NRR and the Office of Nuclear Security and Incident Response (NSIR) on inspection related issues and the overall WBN Unit 2 inspection program either directly or through the assigned Region II Branch Chiefs. Ensures routine assessment of applicant performance in restart activities is considered. d. Approximately 30 days before the operating license is scheduled to be issued, transmits the status report by memorandum to the Director of NRR. This memorandum will include the results of the region's inspection efforts; items that remain to be completed, with appropriate milestones; a statement concerning the implementation of the applicant's QA program; and the region's recommendations for issuance of an operating license. See IP for more information. e. Makes the decision to allow WBN Unit 2 to transition completely to the full oversight of the ROP with the concurrence of the Director, NRR Watts Bar Unit 2 Reactivation Assessment Group The WRAG consisting of participants from NRR (primarily DORL, and other divisions as necessary) and Region II has responsibilities to: a. Oversee project completion. b. Serve as the focal point for status of the project and for coordination between the Region and the Offices at Headquarters. Issue Date: 04/30/

8 c. NRR Office Instruction LIC-110, Watts Bar Unit 2 License Application Review and the WRAG specific charter provide additional information for the group, including organization and reporting responsibilities BACKGROUND AND OVERVIEW The Tennessee Valley Authority (TVA) is the NRC-regulated applicant for the WBN Plant located in southeastern Tennessee. The WBN site has two Westinghousedesigned pressurized-water reactors. WBN has a unique licensing history and regulatory framework. TVA received construction permits for the units in 1973 under 10 CFR Part 50. Construction proceeded until 1985, when WBN Unit 1 was thought to be essentially complete and nearly ready to receive an Operating License (OL), as documented in NUREG-0847, Safety Evaluation Report Related to the Operation of WBN Plant, Units 1 and 2, through Supplement 4. As a consequence of the identification of a large number of deficiencies shortly before the WBN Unit 1 license was expected to be issued, the Nuclear Regulatory Commission (NRC) sent a letter to TVA on September 17, 1985, requesting information under 10 CFR 50.54(f), on TVA s plans to address the deficiencies for its operating and construction activities at Watts Bar and TVA s other nuclear facilities. In response to this letter, TVA developed a Nuclear Performance Plan (NPP) to address corporate and site-specific issues, establishing programs to address a wide variety of material, design, and programmatic deficiencies. WBN Unit 2 construction was suspended at about that time, with major structures in place and equipment such as reactor coolant system piping installed. On October 13, 1999, TVA filed a request for extension of the completion date for Unit 2, and by letter dated July 14, 2000, TVA informed the NRC that WBN Unit 2 meets the NRC s definition for deferred nuclear plant units as described in the Commission s Policy Statement on Deferred Plants, 52 FR (Oct. 14, 1987). On October 24, 2000, the NRC issued an order extending the Unit 2 construction permit to December 31, The NRC staff reviewed components of the NPP for WBN Unit 1 and, as documented in NUREG-1232, Volume 4, Safety Evaluation Report on Tennessee Valley Authority: Watts Bar Nuclear Performance Plan, Watts Bar Unit 1 (January 1990), the staff endorsed the general approaches of various corrective actions. The staff determined that when implemented thoroughly, the proposed corrective actions should address the identified deficiencies for WBN Unit 1; however, no final conclusions were stated for WBN Unit 2. TVA addressed WBN Unit 1 construction quality issues as part of the implementation of its NPP. IMC 2512 was used to ensure that WBN Unit 1 was constructed in accordance with NRC approved design and construction standards. In 1985, the NRC had completed its initial IMC 2512 inspection program for the construction of WBN Unit 1. However, the initial WBN inspection program was found to have some weaknesses, which were identified and corrected after the construction inspection program was completed for Unit 1, but before the facility was licensed. Because of the complexity of the rework activities under the NPP, the NRC implemented a "reconstitution" of the construction inspection program to verify that construction related inspections Issue Date: 04/30/

9 conducted after 1985 met the requirements of the IMC 2512 program. The results of this program were published in NUREG-1528, Reconstitution of the IMC 2512 Construction Inspection Program for Watts Bar Unit 1. The staff had completed a substantial number of IMC 2512 inspections for WBN Unit 2, as well; however, TVA suspended WBN Unit 2 construction before the inspection program was completed, and the staff then suspended its licensing and inspection activities. In a Staff Requirements Memorandum dated July 25, 2007 (ML ), the Commission stated that it supports a licensing review approach that employs the current licensing basis for Unit 1 as the reference basis for the review and licensing of Unit 2, and that Significant changes to that licensing basis would be allowed only where the existing backfit rule would be met as necessary to support dual unit operation. Licensing review guidance documents will reflect this guidance. This IMC establishes the policy for the conduct of WBN Unit 2 inspection program covering WBN Unit 2's construction and startup process under IMCs 2512, 2513, and All aspects of the WBN Unit 2 construction project will be inspected in accordance with the Region II inspection plan and this IMC. Region II will manage all elements of the WBN Unit 2 inspections, e.g., reviews, assessment of applicant corrective actions, evaluation of findings, tracking open items, and transition to the ROP GENERAL INSPECTION POLICY This section covers the inspection procedure closure process, inspection of CAPs and SPs, and the use of inspectors. The inspection procedure closure process consists of three phases: reconstitution of WBN Unit 2 inspection status, inspection scoping, and inspection planning and completion. If documented inspection results do not provide adequate assurance that an IMC 2512 inspection procedure can be completed and reinspection is not feasible, NRC Region II management will make a case-by-case decision concerning an alternative means to establish that the requirements had been satisfied. Region II will manage and coordinate the WBN Unit 2 inspection program, required technical support, and the verification that inspection hours are being properly charged Reconstitution of WBN Unit 2 Inspection Status. Phase 1 in the inspection procedure closure process consists of conducting a reconstitution of IMC 2512 IPs. The reconstitution process will compare the results of previous inspections at WBN Unit 2, as documented in historical inspection reports, to the inspection requirements specified in IMC 2512 IPs. This comparison will determine the status of previously completed inspections in satisfying IP requirements. RII management will determine the applicable IPs listed in IMC 2512, Appendix I that need to be reconstituted. The assigned inspector will be provided the information required to perform the reconstitution for an inspection procedure. Information provided will include a historical library of previous construction inspection reports. The reconstitution results will be documented in the quarterly WBN Unit 2 construction resident inspector report. Issue Date: 04/30/

10 07.02 Inspection Scoping. Phase 2 in the inspection procedure closure process involves inspection scoping and consists of the following attributes: a. Inspection scoping for each IP will be based on the results of the reconstitution of that IP and additional considerations. This will determine what IP attributes will need further inspections. Additional considerations will be determined based on screening such items as historical WBN allegations; applicable generic communications; historical construction deficiency reports (CDRs); WBN Unit 1 operating experience, such as Licensee Event Reports (LERs) and Level 1 and 2 Problem Event Reports (PERs), that could impact WBN Unit 2; historical open items such as Unresolved Items (URIs), Inspector Follow-up Items (IFIs), deficiencies, deviations and violations; new work or rework; and historical TIs other than those associated with CAPs and SPs. As determined by the inspection scoping effort, the relevant IPs and historical TIs to be utilized for inspection will be reactivated if previously archived. The following IMC 2512 IPs will not be re-activated because they were determined not to be applicable to WBN Unit 2: b IP 35051, Site Erected RV - QA Procedures IP 47051, Containment (Post-Tensioning) Procedure Review IP 47053, Containment (Post-Tensioning) Work Observation IP 47055, Containment (Post-Tensioning) Record Review IP 50082, Site Erected RV Procedures (Mechanical) IP 50083, Site Erected RV Work Observation (Mechanical) IP 50085, Site Erected RV Record Review (Mechanical) IP 55092, Site Erected RV Work Observation (Welding and NDE) The inspection scoping will address inspections for IMC 2512, IMC 2513, and IMC In addition, it will also include additional inspections identified by Region II management to address construction issues and NRR during the licensing review, and the transition of WBN Unit 2 into the full oversight of the ROP. c. The inspection plan will include Problem Identification and Resolution (PI&R) inspections to verify that the applicant s processes for identifying, tracking, and resolving problems at WBN Unit 2 are adequate. d. This IMC will establish the justification for allowing each cornerstone to be monitored by the ROP. Region II will develop a Transition Plan based on the Transition Matrices for the cornerstones so that the major steps are identified and defined (refer to Section 12 of this IMC). e. The inspection plan will either refer to or include the detailed Transition Matrices to be developed by Region II for the seven cornerstones of safety. Issue Date: 04/30/

11 07.03 Inspection Planning and Completion Phase 3 in the inspection procedure closure process involves inspection planning and consists of the following attributes: a. Region II will develop site-specific inspection plans and schedules to complete the inspections required by IMC 2512, IMC 2513, and IMC 2514 taking into account the considerations discussed in Section above. This schedule will take into account IPs determined to be complete by the reconstitution effort, discussed in Section The inspection plan should attempt to minimize the number of inspections by grouping similar issues and programs together. In addition, it should provide sufficient flexibility for rescheduling inspections to accommodate applicant schedule changes. The inspection schedule will use Reactor Programs System (RPS) and other specific tools to accomplish its purposes. b. Region II and NRR will coordinate inspection and licensing activities to ensure that both efforts reflect the accepted facility design and as-built condition. Inspection results identifying differences between the as-built plant and the licensing basis will be communicated to NRR. Differences between the as-built plant and the licensing basis may require additional NRR licensing reviews. Similarly, NRR will notify Region II if licensing reviews indicate additional inspections are required. c. Region II can increase the sample sizes of IPs or TIs as needed to satisfactorily complete the inspection without NRR concurrence if budgeted resources will still envelope the estimated resources to be expended after allowances for any alterations are made. d. The inspection plan and schedule should allow for additional inspections that may be identified by Region II or NRR. Region II will establish tracking mechanisms for the large number of historical open items and CDRs that will initially be open and whose tracking numbers make them unsuitable to track using the RPS. New items such as URIs, CDRs, and VIOs will be tracked using the RPS. e. Region II will identify and implement changes to the inspection plan based on the results of the WBN Unit 2 assessment process discussed in Section Inspection of CAPs and SPs Construction Phase TIs associated with CAPs and SPs are listed in Appendix A. They will not require reconstitution and will be completed. A significant amount of previous NRC inspection of construction activities associated with WBN Unit 2, especially prior to 1985, has occurred. However, except for common SSCs, very little actual inspection of applicant activities associated with CAPs and SPs for WBN Unit 2 has occurred. Region II will inspect these activities as they take place and will Issue Date: 04/30/

12 verify that the applicant closure packages adequately address the related CAPs and SPs Use of Inspectors. a. Region II should assign inspectors based on their qualifications. Specific qualification requirements for the construction inspectors are discussed in Section Generally, resident inspectors should verify applicant performance for all general activities while the regional specialists should perform more specialized activities (technical reviews associated with specific types of inspections for each specialist). b. Programs and procedures should be reviewed once a performance problem is identified to ensure the applicant determines the cause and extent of condition. Inspectors will focus on the applicant's efforts to implement long-term resolutions Management Entrance and Exit Meetings. In general, inspectors should use the guidance on management entrance and exit meetings in IMC 2515, section 12 as supplemented by the following: a. All inspection results to be included in an inspection report must be covered in the exit meeting. This includes both findings and observations. b. Inspections performed in support of the resident s office are generally covered by the resident s quarterly exit meeting. However, an interim exit meeting is required for inspections requiring individual inspection plans. In addition, unique inspections performed by visiting inspectors working independently, may require interim exit meetings especially if their results will be included in an inspection report BASIC REQUIREMENTS/POLICY FOR INSPECTION PROGRAM This section provides the basic requirements and policy for the WBN Unit 2 construction inspection program. It also identifies certain exceptions to the requirements of IMC 0040, IMC 2512, IMC 2513 and IMC 2514 and offers alternate approaches to meet their intent. Although this section discusses three different phases of inspection (construction, preoperational testing and startup testing), all inspections for a particular phase do not need to be completed before entering the next phase Level of Effort. The level of effort will be determined by Region II by taking into account the total estimated resources allotted in the budget developed jointly by Region II and NRR. Inspectors should charge to the IPs, TIs and activity codes listed in Appendix A. Every applicant program, (e.g., CAP or SP) will be inspected per the following: a. For each applicant program, inspect its programmatic aspects only once. This inspection should review the implementing administrative processes to ensure Issue Date: 04/30/

13 that quality assurance is instilled in the program. All applicant CAPs and SPs are listed in Attachment 2 of the WBN Unit 2 Reactivation letter dated August 3, 2007 (Reference 1 in Section 13 of this IMC). If the programmatic aspects of a those aspects do program were previously verified by NRC inspections for WBN Unit 1, then not have to be re-verified for WBN Unit 2 if it has not been altered, there is no potential impact on the program as a result of changing the vendor, construction and the NRC determines that the program is acceptable for WBN Unit 2. b. An appropriate representative sample of the implementation results for each applicant program shall be inspected. The acceptance criteria for those results for each CAP or SP will be as stated in the respective package, test procedure verifying the functionality of the results, or in the basis document for the program. Region II WBN Unit 2 project management will approve alternate inspection approaches where standard inspections are impractical Implementation of IMC 0040, IMC 2512, IMC 2513 and IMC The WBN Unit 2 construction inspection program will comply with the requirements delineated in IMC 0040 for document preparation, IMC 2512 for construction inspection activities, IMC 2513 for preoperational testing inspection activities and IMC 2514 for startup and testing inspection activities, using the alternate approaches described below. a. The WBN Unit 2 construction inspection program guidance documents used to implement this program, such as IMCs, IPs and TIs, will not be updated prior to issuance. b. Since the archived IPs and TIs are not being revised, their format will not comply with the current requirements of IMC c. The inspector can consult Attachment 1 of reference 1 to determine the applicability of the various Regulatory Guides for WBN Unit 2 along with the corresponding level of compliance. The inspector may also seek clarifications regarding the correct reference documents used at WBN Unit 2 in the current revision of the Watts Bar Operating License application Final Safety Analysis Report. If questions regarding the correct references to use still persist, the inspector is directed to contact DCP or the WBN Unit 2 Project Manager for direction. d. An alternate approach to Section of IMC 0040 will be used for the WBN Unit 2 construction project. The CAP and SP TIs and other TIs determined to require inspection will be reopened for use at WBN Unit 2. These TIs may remain open for longer than 24 months if necessary, in order to accommodate the construction schedule of WBN Unit 2. In cases where technical help is needed and the technical contacts listed in the TIs are no longer available, the inspectors should contact DCP or the WBN Unit 2 Project Manager for guidance. e. Some of the processes listed in the construction IMCs are no longer utilized. In this case, the alternate processes described in this IMC should be used. An Issue Date: 04/30/

14 example of that is Section of this IMC which provides an alternate applicant performance assessment to the Systematic Assessment of Licensee Performance (SALP). If after reviewing this chapter questions remain regarding a specific process, the inspector is directed to contact DCP or the WBN Unit 2 Project Manager for guidance. f. To the extent practical, IMC 2512 will be used to perform inspections during the construction phase of the WBN Unit 2 project. The reconstitution effort described in Section 07 of this IMC may result in some deviations from the requirements of IMC This may be due to the inability to find specific inspection reports and/or the practicality to perform certain inspections. In these cases, Region II management will make a case-by-case decision regarding acceptable alternate means to establish that the requirements have been satisfied. An example of an acceptable justification may be a WBN Unit 1 inspection report for a similar activity. In all cases, the intent of IMC 2512 will be met. g. At the discretion of Region II and NRR management, the NRC may implement the Construction Appraisal Team (CAT) inspection program described in IMC 2512, Section for WBN Unit 2. h. Consistent with the exceptions identified above, IMC 2513 and IMC 2514 will be used in their entirety to perform inspections during the preoperational testing and operational preparedness phase and the startup testing phase of the WBN Unit 2 project INSPECTOR TRAINING AND QUALIFICATIONS Only staff members who have been previously qualified as inspectors through IMC 1245 or IMC 1252 will be qualified to this section. The training completed by fully qualified inspectors combined with their field experience can be used, at management s discretion, to establish equivalency for many of the activities specified herein. The initial training and qualification requirements are divided into two phases: the construction phase and the post-construction phase. Refresher and continuing training activities are required as a means for updating and maintaining qualification to keep up-to-date on changes to the inspection program and as a result of lessons learned from industry events and agency activities. Just-in-time training and additional specialized training may also be required to support critical inspection activities. Detailed requirements are listed in Appendix D INSPECTION FINDINGS AND ENFORCEMENT Reports. Routine WBN Unit 2 construction inspection reports will be issued on a quarterly basis. Appendix B will be used to evaluate and document construction inspection observations and to classify them as findings, if appropriate, after they have been placed in context and assessed for significance. The findings will then be Issue Date: 04/30/

15 categorized as violations (VIO), non-cited violations (NCV), minor violations, open items, or. URIs Traditional enforcement will be in effect for the construction of WBN Unit 2 until a specific cornerstone is transitioned to the ROP as discussed in section 12 of this IMC. Findings from inspections will be processed in accordance with 10 CFR Part 2 and applicable enforcement guidance using traditional enforcement tools, e.g., the use of severity levels and civil penalties as appropriate. The determination of the severity level of an apparent violation should consider its significance per Appendix B, Section 05, and the Commission s current Enforcement Policy Cross-cutting Aspects. Inspectors will use the applicable guidance in IMC 0305 to review inspection findings to identify the cause(s) associated with the cross-cutting areas, if any exists. The inspectors should identify the cause(s) that provide(s) the most meaningful insight into the performance deficiency and document it with the associated finding in the Inspection Report (IR). The inspectors will use the cross-cutting aspects defined in IMC NRC Identified and Self-revealing NCVs. NRC identified and self-revealing NCVs will be documented in an IR. Initially, NCVs will not be closed based on the applicant entering them into their corrective action program but will be kept open pending a follow-up inspection to verify the adequacy of the applicant s corrective actions. The results of the follow-up inspection will be documented in an IR and the corresponding open item will be closed. This practice will stop when the applicant s corrective action program is deemed effective. At this point, NCVs will be closed based on the applicant entering them into their corrective action program and their corrective actions will be sampled during PI&R inspections Applicant-identified Violations. The NRC will consider not issuing a Notice of Violation (NOV) for applicant-identified items that would fall into the severity level IV category and if the NCV criteria are met. This consideration will be based on the results of the NRC s review of the applicant s corrective action program. Applicant-identified violations that are severity level III or higher will be documented in an Inspection Report and a NOV will be issued. Applicant-identified violations are those items found through their own efforts rather than NRC inspections. The NRC will sample these items for documentation in the corrective action program, adequacy of extent of condition reviews, and appropriate resolution. Applicant-identified NCVs will be documented in Section V.X2 of the report. The documentation will include the requirement(s) violated, describe how it was violated, identify the applicant s corrective action tracking number(s), and provide a very brief justification why the violation is not greater than severity level IV. Section V.X2 must include the following introductory paragraph: The following violations of very low safety significance were identified by the applicant and are violations of NRC requirements which meet the criteria of Section VI of the NRC Enforcement Policy for being dispositioned as a Non-Cited Violation. Issue Date: 04/30/

16 10.05 ROP Findings. For those cornerstones monitorable by the Reactor Oversight Process (ROP), any noncompliances will be documented and reported following the applicable guidance in IMC The significance of noncompliances will be assessed in accordance with the SDP per IMC 0609 or through the current enforcement policy. Any findings will be dispositioned in accordance with the ROP for such cornerstones with enforcement of these findings being handled in accordance with Commission's current Enforcement Policy The same inspection report may include noncompliances assessed by Appendix B, if the ROP is not applicable, and noncompliances assessed by IMC 0612, if its cornerstone is monitorable by the ROP ASSESSMENT Overall Assessment Process. Applicant performance will be reviewed over a 12-month period. The 12-month assessment cycle will be January 1 through December 31 of each year. The assessments will be based on the findings and conclusions documented in NRC IRs. Overall applicant performance will be based on Severity Level I, II, and III violations and substantive cross-cutting issues. Assessment of cornerstones that have been transitioned to the ROP will be completed under the ROP assessment process Performance Reviews. The assessment process consists of a series of reviews which are described below. a. Quarterly Review. The resident inspectors and Chief, Construction Projects Branch 3 (CPB3) will conduct a quarterly review using the inspection findings and inspection report conclusions compiled over the previous twelve months. The review will be conducted within five weeks after the conclusion of each quarter of the annual assessment cycle. An assessment follow-up letter will be issued if the quarterly review identified significant performance issues that resulted in changes to planned inspections. If required, the assessment followup letter should be issued within two weeks after completing the quarterly review. b. Mid-Cycle Review. Region II will conduct mid-cycle reviews using documented inspection findings and inspection report conclusions compiled over the previous twelve months. The output of the mid-cycle review is a mid-cycle letter. In preparation for the mid-cycle review, Region II will prepare a summary of all inspection findings (including associated cross-cutting aspects) and documented conclusions related to applicant performance conducting special programs, a summary of open allegations, and proposed inspections. The mid-cycle review is chaired by the DCP Division Director or his/her designee. The DCI branch chiefs shall coordinate with the Chief, CPB3, to provide adequate support for the presentation and development of the inspection plan. Other participants should include representatives from the Issue Date: 04/30/

17 Division of Operating Reactor Licensing (DORL), applicable resident inspectors and a representative from the Division of Inspection and Regional Support (DIRS). Additional participants may include the regional allegations coordinator or the agency allegations advisor, and any other additional resources deemed necessary by the regional office. The following representatives should also participate if there are pertinent performance issues that should be factored into the performance assessment: Office of Investigations, Office of Enforcement, Office of Nuclear Security and Incident Response, and Office of Research The mid-cycle letter shall be issued within nine weeks of the end of the completion of the second quarter assessment period. Refer to IMC 0305 for examples of the types of items to be included in the letter. c. End-of-Cycle Review. Region II will conduct an end-of-cycle review using documented inspection findings and inspection report conclusions compiled over the previous twelve months. This review incorporates activities from the midcycle and quarterly reviews. In preparation for the end-of-cycle review, Region II will prepare a summary of all inspection findings (including associated cross-cutting aspects) and documented conclusions related to applicant performance conducting special programs, a summary of open allegations, and proposed inspections. The end-of-cycle review is chaired by the Region II Deputy Regional Administrator for Construction or his/her designee. The DCI branch chiefs shall coordinate with the Chief, CPB3, to provide adequate support for the presentation and development of the inspection plan. Other routine participants should include DRP and DRS branch chiefs, representatives from the Division of Operating Reactor Licensing, applicable regional and resident inspectors, a representative from the Division of Inspection and Regional Support (DIRS), and any other additional participants deemed necessary by the regional office. The following representatives should also participate if there are pertinent performance issues that should be factored into the performance assessment: the regional Allegations Coordinator or the Agency Allegations Advisor, Office of Investigations, Office of Enforcement, Office of Nuclear Security and Incident Response, and Office of Research. The annual assessment letter shall be issued within nine weeks of the end of the assessment cycle. Refer to IMC 0305 for examples of the types of items to be included in the letter Annual Meeting with Applicant. Region II will conduct an end of cycle public meeting in the vicinity of the plant to communicate the results to the local stakeholders. Region II will coordinate with NRR for their participation in the meeting. This meeting should be conducted within 16 weeks of the end of the cycle. Region II will use the applicable portions of IMC 0305 as guidance for conducting this meeting. The WBN Unit 2 annual meeting will not be combined with the WBN Unit 1 annual meeting. Issue Date: 04/30/

18 11.04 Assessment Areas. The following assessment areas and associated attributes will be used to assess WBN Unit 2 performance. Depending on the stage of the construction project, not all assessment areas would be applicable during a given assessment period. a. Quality Assurance Program. The requirements of the quality assurance program are effectively implemented. b. Management Oversight and Control. 1. Construction Activities. Construction activities are conducted in accordance with the construction permit and quality assurance program. The applicant recognizes non-routine events affecting safety and effectively implements the corrective action program. Effective controls are in place to prevent adverse affects to WBN Unit 1 due to construction activities. 2. Maintenance Activities. Maintenance activities are conducted in accordance with maintenance procedures and the quality assurance program. Activities are effective in preparing SSCs for operation. Effective controls are in place to prevent adverse affects to WBN Unit 1 due to maintenance activities. 3. Engineering Activities. Engineering activities are conducted in accordance with plant procedures and the quality assurance plan. Engineering activities are effective in ensuring the plant is constructed in accordance with the approved design and authorized design changes. Effective controls are in place to prevent adverse affects to WBN Unit 1 due to engineering activities. 4. System Turnovers. System turnovers are conducted in a controlled manner. Procedures are effectively implemented to maintain plant systems until transition to operations. Effective controls are in place to prevent adverse affects to WBN Unit 1 due to system turnover activities. 5. Pre-Operational Activities. Pre-operational activities are effective and ensure systems and components important to the safety of the plant are fully tested to demonstrate that they satisfy design requirements. Management controls and procedures necessary for operation of the facility are effectively implemented. Effective controls are in place to prevent adverse affects to WBN Unit 1 due to pre-operational activities. 6. Startup Testing Activities. Startup testing activities are effectively implemented to provide for the safe startup testing of the facility during both routine and upset conditions, to recognize non-routine events affecting safety, utilize an internal reporting system, and to identify and execute corrective actions to return the facility to a safe and secure preoperational condition after possible upsets. Effective controls are in place to prevent adverse affects to WBN Unit 1. Issue Date: 04/30/

19 7. Training and Qualification of Plant Personnel. The training and qualification program is effective in training of personnel including managers, designers, technical staff, construction personnel, technicians, Inspectors and other personnel whose level of knowledge is relied on for safety. c. Operational Readiness Activities. Activities completed during the operational preparedness phase to support the transition from construction to operation. Since Watts Bar is a dual plant site with one operating plant, WBN Unit 1, the assessment of these activities should take into consideration dual plant operation and the potential impact of WBN Unit 2 activities on the safe operation of WBN Unit Operations. The operational procedures and the technical specifications are adequate and support dual plant operation. The operations department is well staffed with qualified individuals whose training covers dual plant operation. 2. Fire Protection. The applicant has established an effective fire protection program to assure the protection of safety related SSCs. 3. Surveillance Testing. The applicant has established an effective surveillance testing program that takes into account dual plant operation, and has instituted adequate test and measurement equipment controls. 4. Plant Water Chemistry. The applicant has identified the plant systems affecting water chemistry and has instituted effective water chemistry control and analysis processes to assure the protection of impacted safety related SSCs. 5. Radiation Safety. The radiation safety program is effective in protecting workers health and safety from exposure to radiation. The program is effective in protecting public health and safety and the environment from exposure to radioactive material released into the public domain. 6. Security. The security program is effective in protecting the plant against (1) the design basis threat of radiological sabotage from external or internal threats, and (2) the theft or loss of radioactive materials. 7. Emergency Preparedness. The emergency preparedness (EP) program is effective in protecting the public health and safety in the event of a radiological emergency. d. Other. These are issues that may arise on an occasional basis, but are not included in the review on a routine basis unless the significance of the issue rises to a level that is perceived to affect the quality of applicant performance. An example of an item that would be in this category is quality of application and licensing submittals. Issue Date: 04/30/

20 11.05 Substantive Cross-Cutting Issues. WBN Unit 2 performance reviews will be based on conclusions and findings documented in NRC IRs. The assessment will also review cross-cutting aspects associated with the inspection findings. Region II will use the guidance contained in IMC 0305 to identify cross-cutting aspects and themes. A substantive cross-cutting issue would exist in the human performance or PI&R crosscutting areas if all of the following criteria were met: There are four or more findings with cross-cutting aspects for the current 12-month assessment period with the same documented cross-cutting aspect (i.e., a cross-cutting theme (s)). The agency has a concern with the applicant s scope of efforts or progress in addressing the cross-cutting theme. A substantive cross-cutting issue would exist in the Safety Conscious Work Environment (SCWE) cross-cutting area if, during the extended time frame of an 18 month assessment period (the current 12 month assessment period and the prior 6 months) the following two criteria are met: A finding with a cross-cutting aspect in the SCWE cross-cutting area. Observations or violations that are not findings should not be considered in this determination, OR The applicant has received a chilling effect letter OR, The applicant has received correspondence from the NRC which transmitted an enforcement action with a severity level of I, II, or III, and which involved discrimination, or a confirmatory order which involved discrimination. Additionally, for any of the situations which exist, there is an impact on safety conscious work environment that was not isolated. The agency has a concern with the applicant s scope of efforts or progress in addressing the individual and collective performance deficiencies. Refer to IMC 0305 for more details NRC Actions in Response to Applicant Performance Issues. The mid-cycle/endof-cycle assessment panels will determine the NRC response to significant performance issues. Significant performance issues are defined as: Severity Level I, II, and III violations Substantive cross-cutting issue Issue Date: 04/30/